Search for: "UBS Financial Services"
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17 Aug 2020, 12:58 pm
If you are reading this Blog, UBS Financial Services, Inc. [read post]
30 Jun 2022, 10:25 am
Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). [read post]
11 Jul 2022, 5:20 am
UBS will pay a $17.4 million penalty and $7.2 million in disgorgement and interest (In the Matter of UBS Financial Services Inc., Release No. 34-95168, June 29, 2022).The “Yield Enhancement Strategy” (YES) is an options trading strategy designed by a team at Credit Suisse to generate income from an existing portfolio of securities. [read post]
9 Mar 2009, 10:25 am
Luxembourg, which has one of the EU's mutual fund financial service sectors, disagrees with France's accusations. [read post]
12 Apr 2011, 2:28 pm
The Financial Industry Regulatory Authority is fining UBS Financial Services, Inc. $2.5 million and ordering it to pay $8.25 million in restitution for allegedly misleading investors about the "principal protection" feature of 100% Principal-Protection Notes. [read post]
9 Oct 2013, 1:32 pm
The UBS Puerto Rico family of funds consists of 14 such closed-end funds, sold exclusively through brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
8 Feb 2022, 4:50 pm
Our attorneys have recovered millions of dollars from many brokerage firms in the past, including UBS Financial Services. [read post]
15 Mar 2019, 10:31 am
A UBS Financial Services options trading program marketed as a “Yield Enhancement” strategy to brokerage customers of UBS, reportedly including risk averse investors with substantial bond portfolios, suffered substantial losses approaching 20% of the capital committed in late 2018 and early 2019, although customers to whom the strategy was sold had reportedly been under the impression that the maximum loss they faced in a given month was 1-2%. [read post]
28 Jul 2009, 2:03 pm
. $150,000 and UBS Financial Services, Inc. $100,000 for supervisory failures that led to unsuitable short-term sales of closed-end funds (CEF) purchased at the funds' initial public offerings.... [read post]
15 Jan 2008, 4:37 am
A former broker at UBS Financial Services has agreed to settle charges he participated in a multi-million dollar hedge fund fraud, the Securities and Exchange Commission said on Monday. [read post]
23 Sep 2021, 2:32 pm
Murray has been in the financial services industry for more than 30 years. [read post]
Customer Of UBS Brokers Mark Zeller and Scott Rosenberg Awarded Nearly $90K Over YES Strategy Losses
16 Mar 2021, 7:14 am
The award was for his unsuitability claim against UBS Financial Services. [read post]
17 Feb 2020, 6:48 am
Robert Perlman (CRD# 1892131) is a currently-registered broker with UBS Financial Services who has 3 customer disputes on his publicly-available FINRA BrokerCheck report, including 1 that seeks $750,000 in damages related to investment in the UBS Yield Enhancement Strategy (YES). [read post]
21 Nov 2018, 10:57 am
The credit lines came from UBS Bank USA, which is a UBS Financial Services subsidiary based in Utah. [read post]
2 Jun 2020, 11:16 am
Jose Cornide (CRD#: 2785918), a currently-registered broker with UBS Financial Services (CRD#: 8174) in Coral Gables, Florida, is the subject of 12 disclosures on his publicly-available FINRA BrokerCheck report. [read post]
28 Sep 2016, 8:17 am
The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales force about critical aspects of certain complex financial products it sold to retail investors. [read post]
10 Sep 2013, 3:08 pm
If you invested through UBS Financial Services and have suffered losses, The White Law Group may be able to help. [read post]
6 Aug 2012, 2:41 pm
UBS Financial Services Inc. v. [read post]
29 Sep 2020, 7:12 am
Rich, Intelisano & Katz, LLP (RIK) filed a $3 million FINRA arbitration this month on behalf of clients that invested in UBS Financial Services, Inc. [read post]
21 Oct 2021, 11:59 am
Murray was terminated by UBS Financial Services, Inc. on September 16, 2021, for outside business activity, including making investment recommendations and receiving commissions. [read post]
